Description
FFINRA Rule 3310: Each firm must provide AML training on at least an annual basis. Due to strong demand, we have created a powerpoint training program you can follow to comply with the FFINRA rule.
Some of the topics covered in this training program:
- Background: Bank Secrecy Act/ Patriot Act/ FinCen/ Financial Institutions/
- Lender vrs Originator
- Customer identification
- Financial institutions
- Reportable activity
- Money laundering
- AML requirements
- When to file a SARs report
- Reportable actions
- Red Flags
- Mortgage fraud Red Flags
- SARs reporting deadlines
- Retention of records
- Confidentiality
- Safe Harbor
- What employees need to do
- Civil & criminal penalties for non compliance
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